Search Result

EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy

…

REC 4.2G Reports by skilled persons

As Published: 2013

REC 4.2G Reports by skilled persons

…

LR 4.1 Application and Purpose

As Published: 2005

LR 4.1 Application and Purpose

…

EG 9.8 The effect of the FCA's decision to make a prohibition order

As Published: 2016

EG 9.8 The effect of the FCA's decision to make a prohibition order

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

MAR 7A.1 Application

GEN 4.3 Letter disclosure

COBS 11.6 Use of dealing commission [deleted]

COBS 21.2 Rules for firms engaged in linked long-term insurance business

SUP 3.6 Firms' cooperation with their auditors

PERG 4.10B Regulation of buy to let lending

SYSC 22.5 Giving references: additional rules and guidance for all firms

MCOB 9.3 Pre-application disclosure

DISP 1.3 Complaints handling rules

IPRU-INV 13.14 CALCULATION OF ANNUAL INCOME FOR AN EXEMPT CAD FIRM AND A CATEGORY B FIRM

COLL 7.2 Suspension and restart of dealings

DTR 2.2 Disclosure of inside information

LR 5.2 Cancelling listing

REC 4.2F Information gathering power on FCA’s own initiative

PERG 16.4 Acting as a depositary of an AIF

EG 4.1 Notifying the person under investigation where notice is a requirement under section 170

EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy

REC 4.2G Reports by skilled persons

LR 4.1 Application and Purpose

EG 9.8 The effect of the FCA's decision to make a prohibition order